Order

WHEREAS on December 14, 2018, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of MFDA By-law No. 1 in respect of a disciplinary proceeding commenced against James Andrew Phillips (the “Respondent”);

AND WHEREAS the Respondent served and filed a Reply to the Notice of Hearing dated January 25, 2019;

AND WHEREAS the first appearance in this hearing was held by teleconference before a public representative of the Atlantic Regional Council acting on behalf of hearing panel of the Atlantic Regional Council of the MFDA (the “Hearing Panel”) on January 29, 2019, in accordance with s. 19.13(b) of MFDA By-law No. 1;

AND WHEREAS both Counsel for Staff and the Respondent attended the first appearance by teleconference on January 29, 2019 to address scheduling and other procedural matters and jointly proposed the following schedule for the continuation of the proceeding; 

IT IS HEREBY ORDERED THAT:

1. In accordance with Rule 10.1 of the MFDA Rules of Procedure, Staff shall provide documentary disclosure to the Respondent on or before March 15, 2019;

2. In accordance with Rule 10.2 of the MFDA Rules of Procedure, the Respondent shall provide documentary disclosure to Staff on or before April 12, 2019;

3. Staff shall provide the Respondent with a witness list and for each witness that Staff intends to call at the hearing on the merits, a corresponding transcript, signed witness statement or summary of the evidence that the witness is expected to give at the hearing by May 1, 2019 in accordance with Rule 11 of the MFDA Rules of Procedure;

4. The Respondent shall provide Staff with a witness list and for each witness that the Respondent intends to call at the hearing on the merits, a corresponding transcript, signed witness statement or summary of the evidence that the witness is expected to give at the hearing corresponding witness statements to Staff by May 15, 2019 in accordance with Rule 11 of the MFDA Rules of Procedure;

5. Subject to any further Order of the Hearing Panel, the hearing of this matter on its merits shall take place June 12-14, 2019 commencing at 10:00 a.m. (Atlantic) each day, or as soon thereafter as the matter can heard, in the hearing room at the Nova Scotia Securities Commission, located at 5251 Duke Street, Suite 400, Duke Tower, Halifax, Nova Scotia.